Essentials of the Dodd-Frank Act

This book provides an executive summary of the Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act.

Presents responsibilities of senior level executives regarding this new Act

Reveals what has changed within the regulatory environment

Provides tips and techniques throughout

Describing the government regulation of securities, securities markets, and securities transactions in the U.S., this timely book succinctly defines, describes and explains domestic securities regulation for compliance officers, accountants and broker-dealers.